Senior Compliance Analyst (Regulatory)

APEX Fintech Services•Dallas, TX

1d•Hybrid

About The Position

Apex is seeking a seasoned Senior Compliance Analyst (Regulatory) to assist in the oversight and management of our compliance programs related to Broker/Dealer operations. This role reports directly to the Sr. Manager, Compliance (Regulatory), and is integral in maintaining high compliance standards in accordance with FINRA, SEC, and other regulatory body requirements. The Senior Compliance Analyst (Regulatory) will be responsible for upholding robust compliance policies, participating in regulatory examinations, and ensuring that our business processes reflect the utmost integrity and adherence to legal and regulatory frameworks.

Requirements

Bachelor’s degree in Law, Finance, Business Administration, or a related field preferred
Minimum of 5 years in compliance roles focused on Broker/Dealer operations, with a deep understanding of relevant regulations and compliance best practices.
Excellent ability to analyze complex regulatory requirements and implement effective compliance strategies.
Superior relationship-building and communication skills, with the ability to collaborate and influence across all organizational levels with senior leaders and staff to review and address compliance matters while maintaining a professional, consultative presence.
Strong problem-solving skills, with the capacity to address and manage compliance issues proactively.
Exceptional attention to detail and the capacity to work on intricate matters with precision.
Robust organizational and time management abilities, essential for managing multiple tasks and priorities in a high-pressure environment.
Proficient in office software and AI applications, with enthusiasm for leveraging AI to automate routine tasks, advance firm initiatives, manage electronic records and compliance monitoring tools and optimize workflows—freeing time for high-value strategic work and client service.
Exceptional stewardship over all firm resources—including financial assets, technology systems, office facilities, and staff time—through sustainable practices that protect and enhance long-term organizational value.
Ability to exemplify exceptional professional standards and ethical conduct that inspires colleagues and stakeholders, serving as a role model through consistent demonstration of company values, proactive problem-solving, and unwavering commitment to excellence in all interactions and deliverables.

Nice To Haves

Holding Series 7 and 24 licenses is highly preferred. Candidates without these licenses should be willing to obtain them within a set timeframe.
Demonstrated ability to manage multiple projects with stringent deadlines and to maintain high-quality standards in a dynamic regulatory environment.

Responsibilities

Investigate and respond to regulatory inquiries, and actively participate in regulatory examinations, ensuring all responses are timely, accurate, and comprehensive.
Maintain and enhance the firm's compliance policies and procedures, including written supervisory procedures and compliance manuals, to ensure they are comprehensive, updated, and reflective of the firm’s current business practices.
Assist in the training and development of the back-office staff on compliance-related issues, enabling them to effectively analyze and resolve compliance matters.
Manage and enhance existing compliance surveillance systems, forecast needs for future enhancements, and prepare detailed management reports on the progress and status of these initiatives.
Oversee the maintenance of required books and records and review communications and advertisements to ensure compliance with regulatory requirements.